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EU GMP Guide-Annex 15
Qualification & Validation draft
released
In February 2014, a draft of the revised Annex 15 was released by the European
Commission (EC) for public comment. The draft version is based on an EMA Concept
Paper, published in November 2012 which outlined various reasons for the revision of
Annex 15.
The changes to the Annex are quite extensive and this White Paper discusses the
proposed revision in detail.
2014 PharmOut. This document has been prepared solely for the use of PharmOut and its clients. Copying is
prohibited.
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EU GMP Guide-Annex 15 Qualification & Validation draft released
Introduction:
The current version of Annex 15 of the EU Guide to GMP was originally published in
September 2001, and since then there have been significant changes in the GMP
environment. The EMA is in the process of updating its guideline on Process Validation
(a draft version is currently available), and there have been advancements in
manufacturing technology and continuous manufacture processes. There has also
been many changes to other Chapters and Annexes in the EU GMP guide, which have
an impact on Annex 15, and therefore the revision of this Annex is required. Also the
current version of the US FDA Guide on Process Validation, as well as the approaches
in ASTM E2500-07 Standard Guide for Specification, Design, and Verification of
Pharmaceutical and Biopharmaceutical Manufacturing Systems and Equipment may
have also justified the change.
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Other major changes within the draft are detailed in the list below, some of which will
be discussed in greater detail later:
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The draft still states that the Validation Master Plan (VMP) should define the key
elements of the validation program but now should also contain the "current validation
status" of "facilities, systems, equipment and processes" and also define the ongoing
validation strategy, including requalification/revalidation. It does not mention utilities,
but may be assumed under "systems". The VMP should now also cross-reference the
template formats used for protocols and reports, as well as assessment of resources
required for the entire project. The VMP should also summarise how acceptance
criteria will be handled and provide clarity on deviation management during validation.
To align with the lifecycle approach, the VMP should confirm that materials used for
validation are of sufficient quality and obtained from appropriately qualified
suppliers.
Assessment of risk:
As part of the alignment with ICH Q9, a well-documented quality risk management
approach should be used to justify validation activities. As knowledge and
understanding increases during the project phase and during commercial
manufacture, the risk assessments should be repeated as required, with changes
clearly documented and their impact understood.
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recommendation on the outcome of the study detailed in the report. The formal
release for the next step in the validation process is still evident, and can be part of the
approval of the validation report or separate summary document authorised by the
relevant responsible personnel. Section 2.9 now also states that where "certain
acceptance criteria or deviations have not been fully addressed", with a documented
assessment, "conditional approval" can be given to proceed to the next validation
stage, provided that there is "no significant impact" upon the next stage by doing so.
Figure 2: Possible qualification and validation stages from the Draft Annex 15.
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detailed in the design and confirmation of current engineering regarding drawings and
specifications" and the IQ must include "verification of the correct installation against
pre-defined criteria". This is an obvious requirement for any protocol, but is not evident
from the current version of Annex 15.
Process Validation
The requirements and principles outlined in this section are still applicable to the
manufacture of all pharmaceutical dosage forms, and now also cover site transfers
and ongoing process verification. The Annex should be used in conjunction with the
EMA guideline on Process Validation, (currently in draft) which provides direction on
what is required for regulatory submission and GMP requirements. A White Paper on
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the EMA Draft Guidance can be found on the PharmOut website, and a summary of the
main sections of the EMA PV Guide are shown in Figure 3 below. Note that
Retrospective Validation is not mentioned in the draft, nor is it mentioned in the draft
EMA PV Guide. It is assumed that all validation will be either prospective or concurrent
in exceptional circumstances.
must be shown to be robust and ensure consistent product quality before any product
is released to the market. Manufacturing processes should undergo a prospective
validation programme wherever possible prior to marketing of the product.
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Concurrent validation
The draft Annex indicates that concurrent validation may be acceptable in exceptional
circumstances "where there is a strong risk benefit to the patient" but the decision
must be justified and documented in the VMP and approved by authorised personnel.
The current US FDA Process Validation Guidance document provides greater detail on
the potential benefits to concurrent validation. It indicates that concurrent release
might be appropriate for processes used infrequently for various reasons including
limited demand drugs, radiopharmaceuticals with short half-lives or drugs that are
medically necessary and are being manufactured in coordination with the Agency (US
FDA) to alleviate a short supply.
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materials, critical quality attributes and critical process parameters to confirm product
realisation". This should also include regular evaluation of the control strategy and the
use of statistical tools and Process Analytical Technology (PAT) may be used. The
number of batches used to justify that the process is consistent and capable must be
justified. CPV can also be used after changes or during ongoing process verification
even if the process was initially validated using the traditional approach, but a
substantial amount of product and process knowledge must have been gained from
experience and historical data first, and again justified.
A Hybrid Approach using the Traditional Approach and Continuous Process
Verification together for different production steps can also be used, but there is little
detail on the Traditional Approach here.
Cleaning validation
Within the Glossary of the draft, the definition for Cleaning Validation has changed from
"will provide equipment which is suitable for processing medicinal products" to "will
remove all traces of the previous product used in the equipment." This statement is
weaker than the older definition as it only infers that previous product be removed and
not potential contamination such as bioburden and endotoxin that might be present.
The draft identifies that visually clean is an important part of cleaning validation but
not acceptable acceptance criteria on its own. The Annex identifies that cleaning
validation may take some time to complete and that "ongoing verification" after each
batch may be required for a period of time to gather sufficient data.
Section 9.5 states that the "Limits for the carry-over of product residues should be
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exposure (PDE) value" and should be documented in a risk assessment. This is not
particularly helpful for non-toxic products/administration routes.
The PDE represents a dose that is unlikely to cause an adverse effect if an individual is
exposed at this dose every day for a lifetime. This approach is not new and the PDE
concept is already used in the ICH Guideline Q3C (R4) Guideline for Residual Solvents.
The PDE determination is carried out substance-specific on the basis of all available
toxicological and pharmacological data from clinical, preclinical or toxicological
studies by means of the NOEL (no-observed-effect-level). The NOEL is the highest dose
at which no critical effect is observed. This ties in with EMAs draft guide titled
Guideline on setting health based exposure limits for use in risk identification in the
manufacture of different medicinal products in shared facilities released in December
2012. The acceptance criteria should also consider the "potential cumulative effect of
multiple equipment in the process equipment train". The assessment for potential
microbial and endotoxin contamination should also be assessed as applicable, along
with the influence of dirty and clean hold times for equipment.
Section 9.8 states that "where a worst case product approach is used as a cleaning
validation model, the rationale for selection of the worst case product should be
justified and the impact of new products to the site assessed" and "when there is no
single worst case product when using multi-purpose equipment, the choice of worst
cases should consider toxicity and PDE value as well as solubility. Worst case cleaning
validation should be performed for each cleaning method used".
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New Sections
Ongoing Process Verification during Lifecycle
This section has been discussed in the Process Validation section above.
Verification of Transportation
Verification of transportation ensures product(s) and samples are transported in
accordance with the conditions defined in the Marketing Authorisation, product
specification file or by the manufacturer. Seasonal variations should also be
considered. The Annex states that a risk assessment should be performed to consider
the impact of conditions other than temperature during transport and examples are
given in this section.
Validation of Packaging
Packaging should be validated as variation in equipment processing parameters during
primary packaging may have an impact on the product i.e. blister strips, sachets etc.
Qualification should encompass the entire operating ranges defined for the critical
component parameters.
Qualification of Utilities
The quality of utilities such as water, steam, air, gases etc. should be confirmed
following installation. Extent of qualification should reflect seasonal variation and
intended use. A risk assessment should be carried out to mitigate any risks of failure
and is particularly important for direct product contact systems like Heating Ventilation
Air Conditioning (HVAC) systems.
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qualification is necessary and performed at a specific time period, the period should be
justified and, the criteria for evaluation defined. Furthermore the possibility of
incremental changes should be assessed".
Change Control
11.3 of the draft states that "Where design space is used, the impact on changes to the
design space should be considered against the registered design space within the
Marketing Authorisation and the need for any regulatory actions assessed". QRM
should be used to evaluate planned changes and assess their impact and to "avoid
unintended consequences and to plan for any necessary process verification or
requalification efforts". Once the change has been executed, an evaluation of its
effectiveness should be carried out to confirm that the change has been successful.
Glossary
The glossary now contains descriptions of the following terms new to the draft:
Bracketing approach
Continuous process verification
Control Strategy
Critical process parameter (CPP)
Critical quality attribute (CQA)
Design Space
Knowledge Management
Lifecycle
Ongoing Process Verification (also known as continued process verification)
Product realisation
Quality by design
State of control
Traditional Approach
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Conclusion:
The draft guide has been brought in line with updates to ICH Q8-Q11 and the lifecycle
approach, as well as current trends in pharmaceutical manufacturing. There are a
number of significant changes in terms of how equipment, facilities and systems can
be planned and qualified, and how processes can be validated.
It is also no longer acceptable to have three consecutive batches to demonstrate that
the cleaning process is validated-a risk assessment is required to justify the number
required.
Included is guidance on the Verification of Transportation as well as separate sections
on Validation of Packaging, Utilities and Test Methods.
The document is currently available for public consultation with the deadline for
comments set for May 2014. The draft is subject to change and it may need further
clarity on a number of sections as highlighted above to avoid confusion including CPV,
ongoing process verification and deviations. It is expected that the new version will be
adopted be the European Commission in October 2014.
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References
Concept Paper on revision of Annex 15 of the GMP guide (EMA/INS/GMP/705397/2012),
European Medicines Agency, November 2012.
EudraLex - Volume 4 Good Manufacturing Practice (GMP) Guidelines, Annex 15
Qualification and Validation, 2001.
ASTM E2500-7 Standard Guide for Specification, Design, and Verification of
Pharmaceutical and Biopharmaceutical Manufacturing Systems and Equipment, June
2007.
EudraLex - Volume 4 Good Manufacturing Practice (GMP) Guidelines, Annex 15
Qualification and Validation, 2014 draft.
International Conference on Harmonisation (ICH) Harmonised Tripartite Guideline, ICH
Q8 Pharmaceutical Development, 2009.
International Conference on Harmonisation (ICH) Harmonised Tripartite Guideline, ICH
Q9 Quality Risk Management, 2005.
International Conference on Harmonisation (ICH) Harmonised Tripartite Guideline, ICH
Q10 Pharmaceutical Quality System, 2008.
International Conference on Harmonisation (ICH) Harmonised Tripartite Guideline, ICH
Q11 Development and Manufacture of Drug Substances, 2012.
EudraLex - Volume 4 Good Manufacturing Practice (GMP) Guidelines, EU Annex 11
Computerised Systems, 2011.
Guideline on Process Validation (draft), European Medicines Agency, 2012.
ASTM E2500-7 Standard Guide for Specification, Design, and Verification of
Pharmaceutical and Biopharmaceutical Manufacturing Systems and Equipment, June
2007.
PIC/S Recommendations on Validation Master Plan, Installation and Operational
Qualification, Non-sterile Process Validation and Cleaning Validation, PI 006-3, 2007
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About PharmOut
PharmOut is a professional consultancy offering product registration, engineering,
validation and regulatory compliance solutions to the Medical Device, Pharmaceutical
and Veterinary drug manufacturing industry from concept development, feasibility
studies, scale up, engineering design, project management to the final product
regulatory approval and GMP compliance certification.
Engineering
Our experienced industry engineers can develop concept and detailed designs, around
your production process ensuring full GMP compliance by careful project management
and verification (validation) to ensure that the exacting GEP standards are met.
GMP Compliance
We can visit your site before or after a FDA or TGA GMP audit to assess and improve
your quality management systems and/or validation documentation, business
processes and physical operations.
Training
We run on-site or in-the-city classroom training on GLP, GMP compliance, validation
and documentation writing. We also develop e-learning modules on topics such as
Good Record Keeping that you can use for your ongoing training needs.
Validation
Our validation engineers / specialists can write validation plans, specifications and
qualification protocols for i.e. cleaning validation, equipment validation, computers
systems validation, analytical method validation or process validation.
2014 PharmOut. This document has been prepared solely for the use of PharmOut and its clients. Copying is
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